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Defined contribution pensions: dealing with the reluctant investor
Emerald - - 2008
AlistairByrne, DebbieHarrison, DavidBlake
PurposeThe purpose of this paper is to provide an overview of key issues in the governance of defined contribution pension schemes, with a focus on investment matters, and to recommend best practices.Design/methodology/approachThe...... hiện toàn bộ
Regulation development and MiFID impact on collective investment in Spain
Emerald - - 2008
BegoñaTorre Olmo, SergioSanfilippo Azofra, CarlosLópez Gutiérrez
PurposeThe objective of this paper is to review Spanish regulatory evolution in the collective investment area, which is very recent in its principal aspects.Design/methodology/approachThe paper assesses the way investment funds a...... hiện toàn bộ
THE INSURANCE OMBUDSMAN BUREAU AND FINANCIAL SERVICES DISPUTES — AN OBITUARY?
Emerald - Tập 2 Số 3 - Trang 220-226 - 1994
NEILMUNRO
This paper examines what the financial services industry expects from the Insurance Ombudsman Bureau. It measures the IOB's success in meeting these expectations against the yardsticks of public confidence and cost‐effectiveness. In the light of Lord Ackner's recently accepted recommendation that the IOB be replaced by a new Ombudsman scheme, this paper concludes that the IOB has failed' t...... hiện toàn bộ
Central banks as lenders of last resort: Lessons from the Asian contagion
Emerald - - 1999
Rosa MariaLastra
KAUFMANN AND OTHERS V CREDIT LYONNAIS BANK
Emerald - - 1995
MRSJUSTICE ARDEN, JoannaGray
Credit Lyonnais (the Defendant), who at all material times were authorised to conduct investment business by virtue of their membership of the Securities Association (its functions now subsumed by SFA) had managed the Plaintiffs' investments on a discretionary basis. It was in respect of the conduct of that discretionary investment management that the case arose. The Plaintiffs made allega...... hiện toàn bộ
THE CAPITAL ADEQUACY REGULATION OF US BROKER‐DEALERS: A COMPARATIVE ANALYSIS — PART 1
Emerald - Tập 3 Số 1 - Trang 11-27 - 1995
RICHARDDALE
The Insurance Ombudsman and payment protection insurance
Emerald - Tập 5 Số 2 - Trang 139-145 - 1997
PeterHart
Regulatory update
Emerald - - 1998
On 12th March, 1998 the Financial Services Authority (FSA) issued Consultation Paper 7 ‘Pension transfers and opt outs review phase 2’ which addresses the next phase of the pensions review and redress programme begun in 1994. The second phase of the review will focus on younger investors — those who are still 15 years away from retirement. The proposed approach for phase 2, on which the FS...... hiện toàn bộ
US CFTC ISSUES ADVISORY APPLICABLE TO CPOS OF OFFSHORE COMMODITY POOLS
Emerald - Tập 4 Số 4 - Trang 357-363 - 1996
M.HOLLAND WEST, DIANE M.DICKENSHEID
This paper first generally describes the requirements under US federal law to register as a commodity pool operator (CPO), and the disclosure, reporting and record keeping obligations which normally apply to registered CPOs. It then discusses in detail two particular sources of relief from certain of these disclosure, reporting and record keeping obligations — an Advisory issued by the US ...... hiện toàn bộ
TOWARDS A POLICY ON FINES AND DISCIPLINE: THE DISCIPLINING RECORD OF IMRO AND THE SFA
Emerald - Tập 1 Số 2 - Trang 200-204 - 1992
GARETHADAMS
In many ways 1991 was a record year for the self‐regulatory regime set up under the Financial Services Act 1986 (FSA). Not only did the Investment Compensation Scheme pay out a record sum to investors, but the various self‐regulating organisations (SROs) levied fines and awarded costs at unprecedented levels. This paper looks at the disciplining record of two of the four SROs: the Investme...... hiện toàn bộ
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